Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

Whistleblowers Fight Over SEC Award

whistleblower

Employment, Litigation, Public Companies and Securities, Uncategorized It was predictable someone would submit a phony whistleblower claim, and I suppose it was predictable there would be a fight over an actual award, like co-workers diving for a share of proceeds from an office pool lottery ticket. In a case filed in the United States District Court for the Northern District of Illinois, […] Read more →

by   |   September 4, 2014

hedge fund

SEC Denies Confidentiality Request for Form 13F

Investment Advisers The SEC has denied an institution manager a confidential treatment request related to Form 13F because the request had only conclusory allegations. According to the SEC: The... Read more →

by   |   September 4, 2014

bank pic

OCC Specifies ‘Heightened Expectations’ for Board of Director Oversight Responsibilities for Large Banks

Banking The Office of the Comptroller of the Currency, or OCC, has adopted guidelines, issued as an appendix to its safety and soundness standards regulations, establishing minimum... Read more →

by   |   September 3, 2014

whistleblower

SEC Fights Off Phony Whistleblower Submissions

Employment, Litigation, Public Companies and Securities As might have been expected, some will go to great lengths to claim they are entitled to a whistleblower reward based on suspect evidence.  An example is this Commission order... Read more →

by   |   August 29, 2014